Investigations and Proceedings. The parties to this Agreement agree to cooperate fully in any securities regulatory investigation or proceeding or any judicial proceeding with respect to each party’s activities under this Agreement and promptly to notify the other party of any such investigation or proceeding.
Investigations and Proceedings. Unless prohibited by either (i) the terms of the subpoena, request for information or other document referred to below, (ii) law (including, without limitation, rules and regulations) or (iii) restrictions imposed by the U.S. federal or state government or any agency or instrumentality thereof and subject to the execution by the applicable Administrative Agent of a confidentiality agreement in form and substance satisfactory to both the Transferor and such Administrative Agent, as soon as possible and in any event (A) within three Business Days after the Transferor (or within five Business Days after any Originating Entity) receives any subpoena, request for information, or any other document relating to any possible violation by the Transferor or any Originating Entity of, or failure by the Transferor or any Originating Entity to comply with, any rule, regulation or statute from HHS or any other governmental agency or instrumentality, notice of such receipt and, if requested by the Agent, the information contained in, or copies of, such subpoena, request or other document, and (B) periodic updates and other management reports relating to the subpoenas, requests for information and other documents referred to in clause (A) above as may be reasonably requested by any Administrative Agent unless such updates or requests could reasonably be deemed a contravention or waiver of any available claim of legal privilege, or would otherwise materially impair available defenses, of the Transferor or any Originating Entity.
Investigations and Proceedings. The parties to this Agreement agree to use commercially reasonable efforts to cooperate in any securities regulatory investigation or proceeding or judicial proceeding with respect to each party’s activities under this Agreement and, to the extent not prohibited by any regulatory body or court with jurisdiction, to promptly notify the other party of any such investigation or proceeding.
Investigations and Proceedings. INGAE and ING Reliastar agree to cooperate fully with each other in all insurance or securities investigations or proceedings or judicial proceedings arising in connection with the Contracts distributed under this agreement. INGAE further agrees to furnish such regulatory authorities with information or reports in connection with such services as may be requested in connection with the operations of ING Reliastar or the Separate Account in connection with such investigation or proceedings. INGAE and ING Reliastar further agree to cooperate fully in any regulatory investigation or proceeding with respect to their affiliates or their agents and representatives to the extent that such investigation or proceeding is in connection with the Contracts distributed under this agreement. Without limiting any provision of this Section XII:
Investigations and Proceedings. Distributor and Insurer shall cooperate fully in any securities or insurance regulatory investigation or proceeding or judicial proceeding arising in connection with the offering, sale or distribution of the Contracts distributed under this Agreement. Without limiting the foregoing, Insurer and Distributor shall notify each other promptly of any customer complaint or notice of any regulatory investigation or proceeding or judicial proceeding received by either party with respect to the Contracts, whether such complaint or notice is received directly or through a Selling Broker-Dealer or otherwise.
Investigations and Proceedings. We agree and you agree to cooperate fully in any securities regulatory investigation or proceeding or judicial proceeding with respect to our respective activities under this Agreement and promptly to notify the each other of any such investigation or proceeding.
Investigations and Proceedings. (a) DSL and ILIAC agree to cooperate fully in insurance regulatory investigations or proceedings or judicial proceedings arising in connection with the offering, sale or distribution of Annuity Contracts distributed under this Agreement. DSL and ILIAC further agree to cooperate fully in any securities regulatory investigation or proceeding or judicial proceeding with respect to ILAIC, DSL, their affiliates and their agents or representatives to the extent that such investigation or proceeding is in connection with the Annuity Contracts offered, sold or distributed under this Agreement. Without limiting the foregoing,
Investigations and Proceedings. EquiTrust Marketing and ETLIC agree to cooperate fully in any insurance regulatory investigation or proceeding or judicial proceeding arising in connection with the Policies and Contracts distributed under this Agreement. EquiTrust Marketing and ETLIC further agree to cooperate fully in any securities regulatory inspection, inquiry, investigation or proceeding or any judicial proceeding with respect to ETLIC, EquiTrust Marketing, their affiliates, or any associated persons to the extent that such inspection, inquiry, investigation or proceeding is in connection with the Policies and Contracts distributed under this Agreement. Without limiting the foregoing:
Investigations and Proceedings. In connection with any investigation, proceeding or other matter related in any manner to the Assigned Claims, the Assignor will cooperate to the extent reasonably required by the Receiver, including making witnesses available for deposition, interviews and court proceedings.
Investigations and Proceedings. No action, suit, investigation, or proceeding by or before any court or governmental agency, authority or body or involving the Company or any of its Subsidiaries, or any of their respective directors, officers, employees or agents, in each case acting in their capacity as such, with respect to the Anti-Money Laundering Laws, the Sanctions Laws, or the Anti-Bribery Laws is pending or, to the knowledge of the Company, threatened.
